Sales Supervisor

Responsibilities

• Supervise the review of new accounts and trades.
• Review written and electronic correspondence.
• Monitor policies and procedures for compliance with relevant regulations and industry best practices.
• Assist with Investment Advisory Compliance in accordance with SEC Rule 206(4)-7 of the Investment Advisers Act of 1940 and related SEC guidance.
• Develop BD training and education materials for financial professionals and conduct training sessions.
• Review home‑office compliance with relevant BD regulations.
• Review marketing materials for compliance.
• Monitor and review trading activity of representatives outside brokerage accounts.
• Assist the CCO with the resolution of disputes, regulatory audits, and customer complaints.
• Collaborate with the COO on strategic planning.
• Stay abreast of regulatory changes and updates, and assist with related manual, policy, and procedure updates.
• Perform other duties and projects as assigned.
• Familiarity with Variable Annuity and Variable Life products.

• Over 2 years of experience in the FINRA and SEC regulated Broker‑Dealer/RIA space with the requisite licenses.
• Thorough knowledge of Alternative Investments.
• Committed to creating a professional environment that places a high value on accountability and teamwork.
• Excellent interpersonal communication skills, both written and verbal.
• Strong organizational skills with the ability to prioritize activities.
• Maintain a strong client focus and the desire to build relationships during each interaction.
• Strong technical skills in the MS Office software suite (Word, Excel, PowerPoint, Outlook, etc.).
• Capable of handling multiple tasks and responsibilities.
• Ability to work independently and take initiative while being part of a team.
• Proven work ethic with a high level of integrity to build trust with clients and colleagues.
• Can get excited about joining an experienced team and contributing to the direction and growth of the company.
• Experience with Pershing, LLC preferred.

• College degree preferred.
• Series 7, 24, 63, 65 or 66.
• Life Insurance License preferred.
• Operational experience preferred.

Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.